VerdictStats

Financial Industry Regulatory Authority

In the Matter of Anthony Sica

Settled

Anthony Sica allegedly refused to appear for on-the-record testimony requested by FINRA as part of its targeted examination of his member firm’s practices regarding public and private offerings of small-capitalized exchange-listed issuers.

Summary generated from official Financial Industry Regulatory Authority press release

Source: Financial Industry Regulatory Authority Press Release ↗

Dates

Resolved
March 20, 2026
Published
March 20, 2026

Case Details

Industry
Finance